2015-02-14T17:33:57-06:00 2014-06-30 990 2013-07-01 131624158 THE ROCKEFELLER UNIVERSITY ROCK 2123278000 1230 YORK AVENUE NEW YORK NY 100656307 JAMES H LAPPLE VP, Finance & Treasurer 2123278371 2015-02-14 1 2123278704 2013 2016-02-25 16:41:14Z James H Lapple 1230 York Avenue New York NY 10065 701040445 0 X www.rockefeller.edu X 1901 NY The Rockefeller University (the University) is a world renowned center for research (see schedule O) and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The Universitys 72 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 46 43 1737 0 898851 0 158956381 197291706 31276609 32786633 99020891 166505633 42627924 30306206 331881805 426890178 8184344 9244466 0 0 155149673 157095082 0 0 7076837 182132825 184090244 345466842 350429792 -13585037 76460386 3007659283 3214164130 951103817 953182278 2056555466 2260981852 X The Rockefeller University (the University) is a world renowned center for research and graduate education in the biomedical sciences, chemistry, bioinformatics, and physics. The Universitys 72 laboratories conduct both basic and clinical research and study a diverse range of biological and biomedical problems with the mission of improving the understanding of life for the benefit of humanity. Laboratories are loosely clustered in six research areas, including biochemistry, structural biology, and chemistry; medical sciences and human genetics; molecular, cell, and developmental biology; immunology, virology, and microbiology; neuroscience; and physics and mathematical biology. The University does not charge tuition. Its revenues are derived primarily from investment income, government grants and contracts, and private gifts and grants. 0 0 256244147 9244466 RESEARCH EDUCATION - 87 LABORATORIES (15 OF WHICH ARE EMERITI) INCLUDING 89 FACULTY MEMBERS, 280 POST-DOCTORAL SCHOLARS, 179 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS. 14672811 HOSPITAL-CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND FOR INPATIENTS. 2695766 LIBRARY CONTAINS 62,046 VOLUMES (OF WHICH 17,956 ARE ON-LINE) AND 5,502 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. 33653815 10163960 AUXILIARY ENTERPRISES-HOUSING ON CAMPUS FOR SINGLE AND MARRIED STUDENTS;OFF CAMPUS HOUSING FOR FACULTY AND OTHER UNIVERSITY PERSONNEL; FOOD SERVICE CONSISTS OF CAFETERIA DINING FACILITIES; PRESS INCLUDES JOURNALS AND SUBSCRIPTIONS. 33653815 10163960 307266539 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 0 1 0 0 0 1 0 1 1 0 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 0 1 0 1 X 474 0 1 1737 1 1 1 1 VI CJ UK 0 0 0 1 1 0 0 0 0 X 46 43 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MICHAEL P VITALE 2123278704 1230 YORK AVENUE NEW YORK NY 100656307 Allen R Adler Trustee 0.00 X 0 0 0 Holly Andersen Trustee 0.00 X 0 0 0 Robert M Bass Trustee 0.00 X 0 0 0 Edward J Benz Jr MD Trustee 0.00 X 0 0 0 Judith Roth Berkowitz Trustee 0.00 X 0 0 0 Debra Black Trustee 0.00 X 0 0 0 David Botstein PhD Trustee 0.00 X 0 0 0 Russell L Carson Trustee, Chairman 0.00 X 0 0 0 Anna M Chapman MD Trustee 0.00 X 0 0 0 H Rodgin Cohen Trustee 0.00 X 0 0 0 Elizabeth R Curry Trustee 0.00 X 0 0 0 Andreas Dracopoulos Trustee 0.00 X 0 0 0 Anthony B Evnin PhD Trustee 0.00 X 0 0 0 Michael D Fascitelli Trustee 0.00 X 0 0 0 Peter A Flaherty Trustee 0.00 X 0 0 0 William E Ford Trustee 0.00 X 0 0 0 Joseph L Goldstein Trustee 0.00 X 0 0 0 Peter T Grauer Trustee 0.00 X 0 0 0 Paul B Guenther Trustee 0.00 X 0 0 0 Marlene Hess Trustee 0.00 X 0 0 0 David I Hirsch PhD Trustee, Vice Chair 0.00 X 0 0 0 Michael B Hoffman Trustee 0.00 X 0 0 0 Sandra J Horbach Trustee 0.00 X 0 0 0 William I Huyett Jr Trustee 0.00 X 0 0 0 Ajit Jain Trustee 0.00 X 0 0 0 David H Koch Trustee 0.00 X 0 0 0 Henry R Kravis Trustee, Vice Chair 0.00 X 0 0 0 Karen M Levy Trustee 0.00 X 0 0 0 Evelyn G Lipper MD Trustee 0.00 X 0 0 0 Susan Lyne Trustee 0.00 X 0 0 0 Thomas Maniatis PhD Trustee 0.00 X 0 0 0 Surya Mohapatra Trustee 0.00 X 0 0 0 Jonathan Nelson Trustee 0.00 X 0 0 0 Robin Chemers Neustein Trustee 0.00 X 0 0 0 Willard J Overlock Jr Trustee 0.00 X 0 0 0 Marnie S Pillsbury Trustee, Vice Chair 0.00 X 0 0 0 Patricia Rosenwald Trustee 0.00 X 0 0 0 Richard E Salomon Trustee, Vice Chair 0.00 X 0 0 0 Lewis A Sanders Trustee 0.00 X 0 0 0 John M Shapiro Trustee 0.00 X 0 0 0 Sydney R Shuman Trustee 0.00 X 0 0 0 James H Simons PhD Trustee 0.00 X 0 0 0 Dinakar Singh Trustee 0.00 X 0 0 0 David Sze Trustee 0.00 X 0 0 0 Lulu C Wang Trustee 0.00 X 0 0 0 Marc Tessier-Lavigne PhD President 35.00 X X 1314456 0 173223 Amy Falls VP & CIO 35.00 X 840828 0 293860 Barry Coller VP & Physician-in-Chief 35.00 X 558311 0 74686 Harriet Rabb VP & General Counsel 35.00 X 454823 0 74638 Maren Imhoff VP, Development 35.00 X 527890 0 74680 John Tooze until 122013 VP, Facilities & Scientifi 35.00 X 257670 0 82097 Michael Young VP, Academic Affairs 35.00 X 479551 0 82438 James Lapple VP, Finance & Treasurer 35.00 X 415364 0 54745 Sidney Strickland VP, Education Affairs 35.00 X 354567 0 74671 Virginia Huffman VP, Human Resources 35.00 X 384369 0 74590 Jane Rendall Corporate Secretary 35.00 X 262619 0 74801 Roberta Maloney Asst. VP, Finance 35.00 X 223541 0 77536 Timothy O'Connor VP, University Strategy & 35.00 X 461007 0 35461 Jean-Laurent Casanova Professor, Head of Laborat 35.00 X 531088 0 74689 Jeffery V Ravetch Professor, Head of Laborat 35.00 X 396800 0 66403 Robert Roeder Professor, Head of Laborat 35.00 X 473692 0 82415 Thomas Lenehan Deputy CIO 35.00 X 659440 0 155788 Paul Greengard Professor, Head of Laborat 35.00 X 465908 0 74656 Thomas Sakmar Professor, Head of Laborat 35.00 X 324747 0 82395 9386671 0 1783772 212 1 1 0 TURNER CONSTRUCTION CO 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION SERVICES 22066443 NICHOLOSON & GALLOWAY INC 261 GLEN HEAD ROAD GLEN HEAD NY 11545 CONSTRUCTION SERVICES 5141335 RESTAURANT ASSOCIATES CORP 120 WEST 45TH STREET NEW YORK NY 10036 FOOD SERVICES 2533750 RAFAEL VINOLY ARCHITECTS PC 50 VANDAM STREET NEW YORK NY 10013 ARCHITECTURAL SERVICES 2438085 ORACLE USA INC PO BOX 56 RED WOOD SHORE CA 44065 IT CONSULTING 1128707 64 2921222 82429263 111941221 59493230 197291706 Housing 532000 19466301 19466301 Press operations 511120 10163960 10163960 Food Service 722210 3156372 3156372 32786633 3451523 3451523 20932807 20932807 7317027 0 7317027 7317027 7317027 436794946 273740836 163054110 163054110 898851 162155259 97025 2921222 409431 -312406 -312406 Reimbursement of Costs 900099 1174320 1174320 Other 900099 895419 895419 Mortgage Interest 900099 299039 299039 2368778 426890178 10163960 898851 218535661 9244466 9244466 5773630 1297000 3997630 479000 82425 82425 103276368 90796426 9647941 2832001 8920243 7114138 1441752 364353 31638900 26726585 3970037 942278 7403516 6369660 811229 222627 694372 694372 372240 60900 311340 2232410 2232410 13423746 11954709 1223452 245585 1146074 889115 108510 148449 55164013 52824300 2159166 180547 2582235 1017840 1178751 385644 12421999 12421999 12339479 11500007 740369 99103 989639 918984 45719 24936 1334547 1043165 68579 222803 29980444 26890237 3090207 40512909 37146027 2437371 929511 2716794 789213 1927581 Subcontracts 8179343 8179343 350429792 307266539 36086416 7076837 30350 43635 133884764 121634811 193952239 226590148 8365883 8534964 12262955 11080538 20296138 20974779 730167 839897 2453112 2413188 1204059790 452708631 758983525 751351159 1249713545 1335962468 595659288 701912344 3826018 4388104 27501299 28438095 3007659283 3214164130 49130485 42791230 5201427 5196817 622841318 617249968 273930587 287944263 951103817 953182278 X 497904189 522210011 1302224416 1475719623 256426861 263052218 2056555466 2260981852 3007659283 3214164130 X 76460386 125686121 2279879 X 0 1 X 1 1 1 X 150559671 154402640 211148284 158956391 197291706 872358692 150559671 154402640 211148284 158956391 197291706 872358692 52854403 819504289 28172701 20680925 17239941 44037926 31701357 141832850 -2004905 -1229824 -2652486 -316154 898851 -5304518 1008887024 0.81230 X Form 990, Schedule A, Line 7 The University is a "School" described in Section 170(b)(1)(A)(ii). Line 7 on Schedule A is checked as a result of the University applying the "Special Rule" in disclosing donors on Schedule B in excess of 2% of contributions. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 807839 X 0 1642492685 2774814 287158774 96005032 1836421241 1539214232 5351242 194327582 96400371 1642492685 1620400847 6402176 -6743511 80845280 1539214232 1451345077 5982193 266875779 103802202 1620400847 1428894687 7123572 127372135 112045317 1451345077 0.21700 0.13100 0.65200 0 0 19124071 19124071 1105086964 399422335 705664629 424726 424726 0 77860953 52138316 25722637 1563076 723254 839822 751351159 Alt Inv-Private-Buyout funds 205268951 F Alt Inv-Private-Natural resources/other 84995636 F Alt Inv-Private-Real estate funds 148205973 F Alt Inv-Private-Venture capital funds 185066919 F Cash Equivalents 78374865 F 701912344 Amounts held for others 108939004 Conditional asset retirement obligation 8129578 Obligation under derivative instruments 122899681 Postretirement benefit obligation 47976000 287944263 X 537005567 125686121 -1628121 124058000 412947567 2232410 11710201 13942611 426890178 332697715 -3380035 -3380035 336077750 2232410 12119632 14352042 350429792 Part III, Line 4: Works of art are displayed in various locations throughout the campus. Part V, Line 4: The primary role of the endowment is to advance the research mission of the University through support of the annual operating budget. The Investment Committee of the Board of Trustees is responsible for overseeing the endowment. With the support of the Office of Investments, the Committee is responsible for establishing the endowments investment policy and asset allocation; retaining and overseeing external investment managers; and monitoring the implementation and performance of the investment program. The endowments assets are invested in marketable securities, including U.S. and non-U.S. equity and fixed income securities, and private investments, including venture capital, private equity and real assets. The assets are invested by external investment managers through separate accounts or through commingled vehicles, including funds, trusts and limited partnerships. Part X, Line 2: The University is exempt from federal income taxes under the provisions of Section 501(c)(3) of the Internal Revenue Code. The University follows the guidance of ASC 740 10, Accounting for Income Taxes Overall, which addresses accounting for uncertainties in income taxes recognized in an enterprises financial statements. The University utilizes a threshold of more likely-than not for recognition and derecognition of tax positions taken or expected to be taken in a tax return. Part XI, Line 2d - Other Adjustments: Unrealized Net (loss) on Derivative Instruments - (1,628,121) Part XI, Line 4b - Other Adjustments: Fundraising expenses - 409,431 Royalty payments (net in Financials) - 12,119,632 Part XII, Line 2d - Other Adjustments: RU Faculty & Students Club, Inc. - NET LOSS - 118,534 Postretirement related changes - (3,908,000) Fundraising expenses - 409,431 Part XII, Line 4b - Other Adjustments: Royalty payments (net in Financials) - 12,119,632 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be denied admission to the Graduate Program of the University or otherwise be discriminated against with respect to any program or in the administration of any policy of the University because of race, color, religion, sex, age, national or ethnic origin, citizenship, sexual orientation, veteran status, or disability. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity. Schedule E, Part I, Line 6 The University receives financial assistance from the State of New York under the Bundy Aid Program. Europe (Including Iceland & Greenland) - Investments 73822208 Central America & Caribbean Investments 505109837 North America Investments 5523784 Europe (Including Iceland & Greenland) - Travel 911715 East Asia and the Pacific Travel 101301 0 0 0 0 0 0 585468845 0 585468845 1 0 1 1 1 0 Women & Science Luncheon 1778686 1747311 31375 70819 47984 9350 Celebrating Science Benefit 1158261 1107861 50400 111372 94554 34708 1 81300 66050 15250 10560 7374 3470 19240 3018247 2921222 97025 192751 149912 3470 63298 409431 -312406 Form 990, Schedule G, Part II, Fundraising Events The Women & Science program is an important outreach and fundraising initiative of The Rockefeller University. Comprised of a wide circle of friends and benefactors, Women & Science provides support for education and career advancement of scientists in biomedical research and related fields. One component of this initiative is the annual Women & Science Lecture and Luncheon. Form 990, Schedule G, Part II, Fundraising Events The Parents & Science program in an important outreach and fundraising initiative of The Rockefeller University. Parents & Science sponsors events that feature distinguished Rockefeller University scientists and eminent guest speakers from such fields as psychology, medicine, education, and the social sciences. A major focus is emerging discoveries and biomedical breakthroughs that are improving the health and well-being of children. One component of this initiative is the annual Celebrating Science Benefit. 0 1 1 14672811 5669562 9003249 0.02570 14672811 5669562 9003249 0.02570 14672811 5669562 9003249 0.02570 0 0 0 1 1 The Rockefeller University Hospital 1230 York Avenue New York NY 10065 X X The Rockefeller University Hospital 1 1 X X X X X X X X X 12 1 0 1 X X X X X X X 1 0 0 0 0 0 0 0 0 0 0 X 0 0 Part V, Section A: The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant.The Hospital's facilities include a 40 bed inpatient unit which operates 24 hours a day, 365 days a year. All patient rooms are single-occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; 2 hardwired cardiac monitored beds and 2 telemetry cardiac monitoring units; and a broad-band/narrow-band ultraviolet light box for psoriasis treatment. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. A new, state-of-the-art digital radiology suite opened in Spring 2003. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high-intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including an Art & Recreation Department, which offers participants pleasant and rewarding craft, video and computer activities in a safe and comfortable environment. Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract. The Hospital is accredited by the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) and licensed by the State of New York. The Rockefeller University Hospital Part V, Section B, Line 19d: See Part V, Section A Explanation Part II, Community Building Activities: The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a very unique institution. As an institution solely committed to conducting clinical research our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. If and when the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines and visits to particular websites such as Craigslists and Facebook. Research participants are culled from all over New York City as well as through collaborations with neighboring hospitals, Universities, and clinics. As a result, our enrolled research participant demographics follow those of New York City overall. In calendar year 2013 21% of research participants identified as Hispanic, 24% identified as Black or African-American and 47% identified as white (RUH subject race and ethnicity report 2013), which mirrors the geographic makeup of New York City (44% white, 25% Black or African-American, and 28% Hispanic) (www.census.gov 2010). Part III, Line 9b: THE ROCKEFELLER UNIVERSITY HOSPITAL DOES NOT HAVE ANY NET PATIENT SERVICE REVENUE AS IT DOES NOT CHARGE ITS PATIENTS. THE PATIENTS ARE SUBJECT VOLUNTEERS WHO GET PAID A STIPEND FOR CERTAIN CLINICAL TRIALS THAT ARE PERFORMED ON A ROUTINE BASIS. Part VI, Line 2: Patients and volunteers who consent to participate in research studies (protocols) are treated without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective: patients are chosen by Hospital physicians solely because they have an illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers and patients, significant advances in biomedical knowledge could not otherwise be achieved. Part VI, Line 3: See Part VI, Line 2 explanation Part VI, Line 5: The Rockefeller University Hospital exists solely to conduct clinical research, at no charge to the research participants. PART VI, LINE 7 NEW YORK 1 FELLOWSHIPS 135 4340087 RESEARCH STIPENDS 156 4904379 Part I, Line 2: Stipends and research fellowships are funds paid to offset living expenses for trainees while they further their education at Rockefeller. These amounts are not considered salary or wages given in consideration for specific job duties nor are they grants given in anticipation of specific scientific achievements on the individuals parts. There is no restriction on the use of the funds once they are received by the trainees. X 1 1 X X X X X 0 1 0 1 0 0 0 1 0 Marc Tessier-Lavigne PhD President 1045450 0 0 0 269006 0 28412 0 144811 0 1487679 0 0 0 Amy Falls VP & CIO 472000 0 270000 0 98828 0 255796 0 38064 0 1134688 0 37500 0 Barry Coller VP & Physician-in-Chief 507900 0 0 0 50411 0 44452 0 30234 0 632997 0 0 0 Harriet Rabb VP & General Counsel 421250 0 0 0 33573 0 44404 0 30234 0 529461 0 0 0 Maren Imhoff VP, Development 472000 0 0 0 55890 0 44446 0 30234 0 602570 0 0 0 John Tooze until 122013 VP, Facilities & Scientifi 256667 0 0 0 1003 0 44411 0 37686 0 339767 0 0 0 Michael Young VP, Academic Affairs 437900 0 0 0 41651 0 44374 0 38064 0 561989 0 0 0 James Lapple VP, Finance & Treasurer 380650 0 0 0 34714 0 44501 0 10244 0 470109 0 0 0 Sidney Strickland VP, Education Affairs 334950 0 0 0 19617 0 44437 0 30234 0 429238 0 0 0 Virginia Huffman VP, Human Resources 337800 0 0 0 46569 0 44356 0 30234 0 458959 0 0 0 Jane Rendall Corporate Secretary 258150 0 0 0 4469 0 44314 0 30487 0 337420 0 0 0 Roberta Maloney Asst. VP, Finance 232000 0 0 0 -8459 0 39556 0 37980 0 301077 0 0 0 Timothy O'Connor VP, University Strategy & 210938 0 100000 0 150069 0 20496 0 14965 0 496468 0 0 0 Jean-Laurent Casanova Professor, Head of Laborat 353500 0 0 0 177588 0 44455 0 30234 0 605777 0 0 0 Jeffery V Ravetch Professor, Head of Laborat 345100 0 0 0 51700 0 28339 0 38064 0 463203 0 0 0 Robert Roeder Professor, Head of Laborat 410000 0 0 0 63692 0 44351 0 38064 0 556107 0 0 0 Thomas Lenehan Deputy CIO 313650 0 261375 0 84415 0 117724 0 38064 0 815228 0 46875 0 Paul Greengard Professor, Head of Laborat 436450 0 0 0 29458 0 44422 0 30234 0 540564 0 0 0 Thomas Sakmar Professor, Head of Laborat 316600 0 0 0 8147 0 44331 0 38064 0 407142 0 0 0 Part I, Line 1a The University provides a residence for the President on campus. The residence is a condition of employment as stated in the President's appointment letter. The house is provided to enable the President to be on campus 24/7 in order to respond to emergent situations that may arise and for other business purposes. Part I, Line 4b The University maintains a 457(b) deferred compensation plan for executive level employees. This plan was developed consistent with the 2001 Economic Growth and Tax Relief Reconciliation Act (EGTRRA). The University does not contribute to the plan (employee contributions only). 2013 employee contributions (not included in column B): Paul Greengard $17,500 Maren Imhoff $17,500 James Lapple $17,500 Roberta Maloney $17,500 Timothy O'Connor $17,500 Harriet Rabb $17,500 Robert Roeder $17,500 Sidney Strickland $17,500 Marc Tessier-Lavigne $17,500 Michael Young $17,500 Part I, Line 5 The University maintains a bonus plan for the Chief Investment Officer and the Deputy Chief Investment Officer which is partially based upon the fiscal year return of the University's endowment in addition to other quantitative and qualitative measures. The plan was approved by the University's Compensation Committee of the Board of Trustees. The plan was developed using comparative data from similar institutions. For retention purposes, a portion of the annual bonus is deferred and paid in subsequent years. Part I, Line 7 The University maintains a policy to provide recruitment and retention supplements to faculty as necessary. The purpose of this supplement is to provide an incentive for a candidate to join the University and for incumbent faculty to make Rockefeller their professional home, recognizing the high cost of living in the New York metropolitan area over the course of a whole career. The decision whether to grant a supplement and its size will turn on the exceptional quality of the faculty member's research and the strategic needs of the University, and will be made by the President in the exercise of his discretion. A Dormitory Authority of the State of New York 146000293 64983QEPO 2005-06-02 65000000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York 146000293 649903YA3 2008-01-31 103215000 Const. & renov. of campus 0 0 0 C Dormitory Authority of the State of New York 146000293 649905BE5 2009-04-08 62119152 Current Refunding 0 0 0 D Dormitory Authority of the State of New York 146000293 649905BF2 2009-04-08 100000000 Const. & renov. of campus 0 0 0 A 68164712 494117 67897288 2008 0 0 1 1 B 104734474 641319 104093155 2012 0 0 1 1 C 62119152 528854 440098 61150200 1998 1 0 1 1 D 100578341 527175 35000 100016166 2012 0 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 1 1 0 0 1 1 B 0 0 1 1 1 0 0 0 1 C 0 0 1 1 0 0 0 0 1 D 0 0 1 1 1 0 0 0 1 A 1 B 1 C 1 D 1 Date Rebate Computation Performed Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 09/27/2013 Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 02/01/2011 Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 11/15/2013 Issuer Name: Dormitory Authority of the State of New York Date the Rebate Computation was Performed: 11/15/2013 Part II - line 3 - Total Proceeds (Issue date 6/2/2005) Total Proceeds include issue price ($65,000,000) + investment income ($3,391,405)- Rebate ($226,692.21). Part I, lineA. Pursuant to Treasury Reg. sections 1.145-2(a) and 1.141-12(e)(2), the bonds originally issued on 6/2/05 are treated as reissued under certain sections of the Internal Revenue Code, but not as a reissuance under other sections of the Code, in the amount of $13,743,577. Such amount, together with other amounts treated as disposition proceeds in the aggregate amount of $24,000,000, plus investment earnings thereon, have been applied to pay the cost of certain construction and renovation projects in accordance with Treas. Reg. section 1.141-12(e)(1). Part II - line 3 - Total Proceeds (Issue date 1/31/2008) Total Proceeds includes issue price ($103,215,000) + investment income ($1,519,474) Part II - line 3 - Total Proceeds (Issue date 4/8/2009) Total proceeds include issue price ($100,000,000) + investment income ($578,341). Part II - line 3 - Total Proceeds (Issue date 8/12/2009) Total proceeds include issue price ($101,554,000)+ investment income ($400,676) Part II - line 3 - Total Proceeds (Issue date 9/1/2010) Total proceeds consists of issue price ($53,818,500) + investment income ($185,048). A Dormitory Authority of the State of New York 146000293 649905PN0 2009-08-12 101554000 Const. & renov. of campus 0 0 0 B Dormitory Authority of the State of New York 146000293 6499053H7 2010-09-01 53818500 Const. & renov. of campus 0 0 0 C Dormitory Authority of the State of New York 146000293 649906RZ9 2012-03-08 30018979 Current Refunding 0 0 0 D Dormitory Authority of the State of New York 146000293 649906SB1 2012-04-04 56441595 Current Refunding 0 0 0 A 101954676 836150 101118526 2012 0 0 1 1 B 54003548 553621 53449927 2012 0 0 1 1 C 30018979 390846 257954 29370179 1998 1 0 1 1 D 56441595 321511 465580 55654504 2002 1 0 1 1 A 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 C 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 D 0 0 0 1 1 0.00000 0.00000 0.00000 0 0 1 A 0 1 0 1 0 0 0 1 1 B 0 1 0 1 0 0 0 1 1 C 0 1 1 1 0 0 0 0 1 D 0 1 1 1 0 0 0 0 1 A 1 B 1 C 1 D 1 Jean-Laurent Casanova Mortgage Loan X 2540000 2377332 0 1 1 Virginia Huffman Mortgage Loan X 180000 170345 0 1 1 Maren I Imhoff Mortgage Loan X 300000 187335 0 1 1 James Lapple Mortgage Loan X 1579378 1440667 0 1 1 Thomas Lenehan Mortgage Loan X 1000000 970760 0 1 1 Roberta Maloney Mortgage Loan X 502932 319060 0 1 1 Harriet Rabb Mortgage Loan X 300000 207291 0 1 1 Jane Rendall Mortgage Loan X 1353315 1220849 0 1 1 Thomas Sakmar Mortgage Loan X 599000 534546 0 1 1 Sidney Strickland Mortgage Loan X 197528 165421 0 1 1 Marc Tessier-Lavigne Mortgage Loan X 2500000 2370526 0 1 1 Michael Young Mortgage Loan X 1238068 1116406 0 1 1 11080538 Anthony Evnin RU Trustee 379308 The Rockefeller University's endowment is an investor in several partnerships where Anthony Evnin (RU Trustee) is General Partner or Member of the General Partner. Anthony Evnin is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 William J Overlock Jr RU Trustee 115395 The son-in-law of Willard J. Overlock, Jr. (RU Trustee) is employed by The Rockefeller University. The salary paid was $82,425 + fringe benefits at 40% of salary. 0 David Sze RU Trustee 82346 The Rockefeller University's endowment is an investor in several partnerships where David Sze (RU Trustee) is General Partner or Member of the General Partner. David Sze is not and has never been a member of the Rockefeller University Investment Committee, which means that he does not participate in the University's investment decisions. All transactions are conducted at arms length and at FMV. 0 X 22 828788 Fair Market Value X Contributions 40 55893412 Net Present Value X Private Gifts 95 2771030 Fair Market Value 0 1 1 Part I, Column (b): Contributions receivable are pledges made by donors where the cash has not been received as of June 30, 2014. Private gifts and grants receivable are grants made to the University where the cash has not been received as of June 30, 2014. Part I, Line 32b: The University utilizes a third party to sell gifts of stock that it receives during the fiscal year. Form 990, Part VI, Section A, line 2 Michael Fascitelli (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Henry Kravis). William E. Ford (RU Trustee)has a business relationship in the ordinary course of business with Henry Kravis (RU Trustee). William E. Ford (RU Trustee)has a business relationship with Andreas C. Dracopoulos (RU Trustee). Andreas C. Dracopoulos (RU Trustee)has a business relationship with William E. Ford(RU Trusee). Henry Kravis (RU Trustee) has a business relationship in the ordinary course of business with other RU Trustees (Michael D. Fascitelli and William E. Ford). Thomas Maniatis (RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Anthony Evnin). Anthony Evnin(RU Trustee) has a business relationship in the ordinary course of business with another Rockefeller Trustee (Thomas Maniatis). Form 990, Part VI, Section B, line 11 The Organization made available to the governing Board of Trustees the completed form 990 on a restricted website prior to submission. Any comments or questions pertaining to the form 990 were sent to the Vice President, Finance or a member of the Audit Committee of the Board of Trustees. The Audit Committee of the Board of Trustee reviewed and approved the form 990 prior to its submission. Form 990, Part VI, Section B, line 12c All members of the University community are covered by the applicable University conflict of interest policies. Trustees, Officers, and Key Employees are covered by the Policy on Business Conflict of Interest and Family/Business Relationships. All other members of the University community are covered by the Conflict of Interest Policy Governing Business Practices. (a) For trustees (including the President), the conflict of interest disclosure form is submitted to the Executive Committee of the Board of Trustees. The Executive Committee, with help from others it may designate, investigates any conflicts or potential conflicts of interest and implements management plans where conflicts or potential conflicts are found to exist. Trustees having made disclosures of current or potential conflict of interest situations may participate in the information-gathering stage of the Executive Committee's review of the disclosures, but will be asked to excuse themselves during the Executive Committee discussion, consideration and vote on the matters in question. (b) For officers and key employees, the conflict of interest disclosure form is submitted to the President. The President, with the help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (c) For heads of laboratory, the conflict of interest disclosure form is submitted to the Vice President for Academic Affairs. The Vice President for Academic Affairs, with help from others he may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. (d) For all other members of the University community, the conflict of interest disclosure form is submitted to the Vice President for Human Resources. The Vice President for Human Resources, with help from others she may designate, investigates any conflicts or potential conflicts of interest, and implements management plans where conflicts are found to exist. Form 990, Part VI, Section B, line 15 Compensation for the President and Officers is established and approved by the Compensation Committee of the Board of Trustees. Such compensation is established through review of comparability data and contemporaneous substantiation of the deliberation and decision. The process includes use of an independent compensation consultant, compensation survey of peer institutions and review of other Form 990s. Specific reviews occur on an annual basis. Form 990, Part VI, Section C, line 19 Conflict of interest policy and financial statements are available to the public through the University's website. Form 990, Part XI, line 9: Unrealized Loss on Derivatives - $(1,628,121) -1,628,121. Postretirement related changes - $ 3,908,000 3,908,000. The Rockefeller University Faculty & Students Club Inc 1230 York Avenue New York NY 10065 Social Club NY 501(c)(7) The Rockefeller University 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 0 THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC M 193436 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC N 101231 Actual THE ROCKEFELLER UNIVERSITY FACULTY & STUDENTS CLUB INC R -176133 Actual Form 990, Schedule R, Part V, #2 The Rockefeller University Faculty and Students Club, Inc. (the Club) is a 501(c)(7) organization that operates a social Club on the campus of The Rockefeller University. The purpose of the Club is to encourage the friendly association of its members and their guests for scientific and other intellectual discourse, and/or pleasure and recreation. The books and records of the Club are maintained by the University. The University collects annual Club dues on behalf of the Club. The Club also relies on certain University systems in order to operate. The Club has a liability to the University which represents the University's subsidized portion of the Club's operations in the amount of $1,935,059 as of June 30, 2014.